Senior Audit Manager- Legal & Compliance

HighView Financial Partners is seeking a Senior Audit Manager to work within a Legal & Compliance group.Person will work with the Global Audit Business Partner of Legal & Compliance, and with and reporting directly to the Chief Auditor of Legal & Compliance. They will be responsible for the formation and execution of the Legal & Compliance audit plan. This includes assessing the effectiveness of the control environment in place and the compliance with industry requirements. The Sr. Audit Manager will also support the Chief Auditor on global strategic developments and initiatives.Specifically, the Legal & Compliance SAM would be responsible for the following:Group Audit relationship manager/liaison for the regional Legal & Compliance Functions. Represents Group Audit at local/Regional Legal & Compliance meetings coordinating related Audit reporting and communication (Quarterly Business Monitoring).
Person would responsible for managing the Americas Legal and Compliance Audit team reporting directly to the Global Chief Auditor for Legal & Compliance.
Responsible for the co-ordination, planning, risk assessment and execution of global and local audit assignments.
Primary owner & driver of the audit, identifies and escalates significant issues, fostering a constructive tone in audit reports.
Recommends audit ratings for final approval by Chief Auditor.
Monitor regional Legal & Compliance Function to dynamically align audit plan (and hence resources) to risks in co-ordination with global Chief Auditor's product audit strategy and plan as well as regional audit plan.
Presentation of audit findings to senior business management.
Facilitate local issue tracking and resolution and validate closure of issues (GATS).
Supports Chief Auditor directly in the development and enhancement of Core Risk Matrices/ CRMs (ie. Audit testing programs) covering both functional areas of Legal & Compliance CRMs as well as CRMs used as part of Product/business audits focusing on compliance/regulatory risk..
Support the Chief Auditor on key strategic initiative of further strengthening the integration/involvement with the Business/Product audit groups, whereby fostering an integrated working practices between fellow audit teams and ensure Legal & Compliance audit objectives are consistently applied.
Develop the Legal & Compliance staff, attract and retain talent for succession planning.
Supervise and coach staff.
Degree of International travel would be required (approx. 15%).
REQUIREMENTS
Requirements

Seeking an experienced Compliance specialist, with at least ten years experience in a Management role within either Compliance function, Audit function, financial services firm or financial services regulator.
Knowledge of Financial services rules and regulations (SEC, NASD, Federal Reserve and Treasury) is required.
Mandatory that person has strong and experienced knowledge of U.S. AML Laws (Bank Secrecy Act, Patriot Act)
Legal background and Securities Examinations (Series 7, 24) a plus.
Solid understanding and experience with Financial service products and operations is required.
Ability to perform and manage, in conjunction with other team members, reviews of functional areas of Legal & Compliance as well as providing advise/guidance to business auditors in order to assess compliance to applicable laws and regulations.
Ability to identify and evaluate risks and hot topics from multiple sources, including surveillance reports, external examinations, and internal reviews, (eg. AML, KYC, Product Suitability, Conflict of Interest, etc).
Ability to work under tight deadlines and be able to prioritize and manage multiple projects and assignments.
Excellent oral/written communication, and professional skills with the ability to interact with Senior Management in both Group Audit and in the Legal & Compliance Area.
Strong leadership abilities where they will be able to promote and motivate the team.
Strong interpersonal and teamwork skills to work with other SAMs to ensure proper audit coverage.
A self starter.
Motivated individual, with further opportunity for potential upward mobility / gj-hh